Richard A. Wentz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Allen Wentz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 8 firms and has passed the Series 66, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 1992 - December 31, 2016
THE O.N. EQUITY SALES COMPANY
January 6, 1989 - February 10, 1992
AMERICAN INVESTORS COMPANY
November 3, 1988 - January 24, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 1, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 19, 1987 - April 4, 1988
JUDY & ROBINSON SECURITIES, INC
January 29, 1981 - March 31, 1987
EPIC SECURITIES COMPANY
November 19, 1976 - April 6, 1982
WOODBURY FINANCIAL SERVICES, INC.
June 12, 1973 - December 8, 1976
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/7/1973
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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